Our Staff has compiled our research into a database of FINRA Broker Allegations.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Francis Xavier Amsler | 2526813 | 14 | 12/07/2020 | Customer Dispute | Award / Judgment | $749,555.00 | $0.00 | See Allegations |
| Francis Xavier Amsler | 2526813 | 14 | 12/07/2020 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See Allegations |
| Christian P Garza | 5275816 | 3 | 11/13/2020 | Customer Dispute | Award / Judgment | $4,000,000.00 | $2,573,340.00 | See Allegations |
| Marc E Laborde | 4975479 | 14 | 11/13/2020 | Customer Dispute | Award / Judgment | $1,775,430.00 | $0.00 | See Allegations |
| Francis Xavier Amsler | 2526813 | 14 | 11/13/2020 | Customer Dispute | Award / Judgment | $1,775,430.00 | $0.00 | See Allegations |
| Thomas Sanford Kruse | 716371 | 2 | 09/30/2020 | Customer Dispute | Award / Judgment | $220,000.00 | $70,000.00 | See Allegations |
| Robert Malone Fehrman | 205552 | 11 | 09/30/2020 | Customer Dispute | Award / Judgment | $165,568.00 | $0.00 | See Allegations |
| Frederick Robert Hughes | 5024387 | 1 | 09/21/2020 | Customer Dispute | Award / Judgment | $0.00 | $450,000.00 | See Allegations |
| Angela Mccarthy | 2266562 | 1 | 09/18/2020 | Customer Dispute | Award / Judgment | $79,309.00 | $0.00 | See Allegations |
| Robert Joseph Calamunci | 1618899 | 12 | 08/29/2020 | Customer Dispute | Award / Judgment | $314,852.00 | $476,677.00 | See Allegations |